Top Corporate Securities Lawyer in New York for Businesses & Investors

Securities law is one of the most intricate and heavily regulated areas of legal practice. Navigating these complexities is essential for protecting your business and ensuring compliance with federal and state regulations. As an experienced Corporate Securities Lawyer in New York, we assist clients with everything from initial stock offerings to stock options, bonuses, and mergers and acquisitions—helping ensure every equity transaction is handled with precision and confidence.

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Experienced securities law attorneys at Corporate Securities Legal LLP in Costa Mesa, CA, providing legal guidance to protect businesses from noncompliance risks.

PROTECT YOUR BUSINESS WITH CORPORATE SECURITIES LEGAL LLP

Failing to adhere to securities regulations can jeopardize your business in profound ways. Noncompliance could result in lost funding, civil penalties, or even criminal liability. For businesses of any size, enlisting the expertise of a seasoned securities law attorney is not just a wise step—it’s essential. At Corporate Securities Legal LLP, with offices in Costa Mesa, CA, and New York, NY, we are committed to safeguarding your business interests with unparalleled legal guidance.

OUR SECURITIES LAW SERVICES

Corporate Securities Legal LLP provides expert legal support across a range of securities law areas:

Private Placement

Our attorneys have extensive experience preparing private placement memoranda (PPM) to present to prospective investors. We also handle all related documentation, including accredited investor questionnaires and subscription agreements, ensuring compliance at every step.

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We also provide guidance with ensuring that the private placement complies with the requirements of applicable federal and state securities laws, including the Securities Act of 1933, and satisfies the conditions of exemptions from the registration requirements of the Securities Act (including Rule 506 of Regulation D) and of applicable state securities laws (also known as “blue sky laws”). We also affect the filing of Form D with the Securities and Exchange Commission and the filing of required “blue sky law” filings required under applicable state securities laws.

Registered Initial Public Offerings

Going public is a significant milestone for any business. We guide clients through every step of the initial public offering (IPO) process, including preparing Form S-1 Registration Statements and managing SEC reviews to achieve regulatory approval efficiently and effectively.

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We work closely with a number of independent auditors and can provide referrals to accountants qualified to practice before the SEC. We also assist clients list their securities on the various national securities exchanges and automated quotation systems. We also assist with preparing and obtaining the clearance of a Form 15c2-11 application with FINRA through a market maker.

Corporate Governance

Becoming a public company requires adopting rigorous corporate governance practices. We assist with establishing all necessary policies and procedures to meet the requirements of public companies, ensuring compliance and building investor trust.

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  • Establish audit, nominating, and compensation committees, and prepare the committee charters
  • Advise and instruct the Board of Directors with respect to its duties and responsibilities
  • Prepare an Insider Trading Policy and Code of Ethics.

We also provide securities law expertise and prepare and file Registration Statements on Form S-8 to register shares to be offered and sold to employees and consultants.

Securities Compliance

Ongoing compliance with securities regulations is critical to the success and stability of your business. Our team provides expert legal services to ensure compliance with federal and state laws, including the Securities Exchange Act of 1934, helping your business avoid costly pitfalls.

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The services we provide in this practice area include:

  • Providing assistance with the preparation and filing of annual, quarterly, and periodic reports required to be filed with the SEC pursuant to the Exchange Act (e., Forms 10-K, 10-Q, and 8-K)
  • Providing assistance with compliance with the proxy rules under the Exchange Act and preparing required documents related thereto, including (as applicable) annual Schedule 14A proxy statements or Schedule 14C information statements
  • Providing assistance with submitting required filings with the SEC by officers and directors, such as Forms 3, 4, and 5 under Section 16 of the Exchange Act and Forms 13D and 13G under Section 13 of the Exchange Act
  • Preparing stock incentive plans or stock option plans and related Form S-8 Registration Statements to be filed with the SEC under the Securities Act
  • Providing assistance with compliance with Regulation FD regarding fair disclosure of information to the public
  • Providing advice with respect to compliance with insider trading restrictions under the Exchange Act
  • Preparing Form S-4 Registration Statements under the Securities Act with respect to mergers and acquisitions.

WHY CHOOSE

CORPORATE SECURITES LEGAL LLP?

At Corporate Securities Legal LLP, we bring decades of experience in securities law to help your business navigate the complex regulatory landscape. Whether you’re seeking to secure funding, launch an IPO, or maintain ongoing compliance, we are here to provide proactive, detail-oriented legal support tailored to your specific needs.

Bradshaw Law Group partners Gil Bradshaw and Christopher Wilson securities law firm

Request a Consultation

Contact us to receive a confidential initial consultation with one of our securities attorneys.

Free Consultation